RA
Ralph J. Aiello
FOUNDERS FINANCIAL ALLIANCE
Cary, NC
Some features on this profile are disabled
CRD#: 4161901
RA
Professional summary
Ralph Joseph Aiello, who also goes by Rafe J Aiello, Rafe Joseph Aiello, Rafe Aiello, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Cary, North Carolina and LPL FINANCIAL LLC located in Cary, North Carolina.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ralph has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rafe J Aiello | Rafe Joseph Aiello | Rafe Aiello
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 3/21/2017 - Mainsail Triangle Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/31/2017 - 160 Hours Per Month During Securities Trading.
2. 4/6/2017 - Founders Financial Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/31/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Founders Financial Alliance an independent investment advisor firm. I started this business activity on 4/5/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3. 5/4/2017 - Founders Financial Alliance - DBA: (Hybrid) Mainsail Triangle Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Founders Financial Alliance, an independent investment advisor firm. I started this business activity on 5/4/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4. 08/16/2019 - Founders Wealth Adviosrs, LLC - Investment related - At reported business location - DBA for LPL Business (entity for LPL business) - start date:08/14/2019 - 160 hrs/mo - 6 hrs during trading.
5. 08/22/2019 - Founders Financial Alliance - DBA:(Hybrid) Founders Wealth Advisors, LLC - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start date:08/14/2019 - 160 hrs/mo - 6 hrs during trading - I provide investment advisory services through Founders Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 08/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Joseph Aiello's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2017 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
RIA
CRD#: 173011
Cary, NC
Current
February 24, 2014 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
CARY, NC
Past
July 2, 2015 - March 28, 2017
WEALTHPLAN PARTNERS
RIA
CRD#: 158935
CARY, NC
Past
February 24, 2014 - June 30, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARY, NC
Past
October 5, 2009 - January 31, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RALEIGH, NC
Past
October 5, 2009 - January 31, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RALEIGH, NC
Past
February 5, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
RALEIGH, NC
Past
January 16, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
RALEIGH, NC
Past
February 2, 2005 - February 5, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RALEIGH, NC
Past
February 2, 2005 - February 5, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RALEIGH, NC
Past
December 31, 2001 - February 2, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RALEIGH, NC
Past
June 5, 2000 - February 2, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/10/2014)
RR
North Carolina(2/24/2014)
IAR
North Carolina(3/31/2017)
RR
Virginia(2/25/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615
Mailing Address
Phone number
(855) 860-5940
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 1,002,097,380 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
